Articles Tagged with LPL Financial LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diane Hutchings (Hutchings), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hutchings recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 22, 2020.

Customer alleges that in April 2013 through February 2014 representative made investment recommendations in non-traded real estate investment trusts and other high risk investments unsuitable for claimant’s investment objectives.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Junko Nagai (Nagai), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nagai recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on July 22, 2020.

Client alleges representative did not liquidate account as directed in December 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wilson (Wilson), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wilson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on July 23, 2020.

In his written complaint letter dated July 23, 2020, the customer claims that David Wilson provided him with false information in order to induce him to purchase a variable annuity in 2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dominick Greco (Greco), previously associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Greco recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on July 22, 2020.

Claimant alleges that she desired to purchase safe investments, but instead was placed in Northstar Real Estate Investment II and FS Investment Corp. Claimant contends that those investments were unsuitable and that she suffered losses “approaching $100,000” because the value of the subject investments allegedly had declined. Activity period 1/2015 – 7/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Hay (Hay), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hay recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

The the clients allege the investments purchased between 2014-2015 were unsuitable and misrepresented by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to preform adequate due diligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Melinda Mccullough (Mccullough), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccullough recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 29, 2020.

The the clients allege the investments purchased between 2014-2015 were unsuitable and misrepresented by the representative. The clients also allege the firm failed to supervise the actions of the representative and failed to preform adequate due diligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Zimmerman (Zimmerman), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zimmerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on August 10, 2020.

Elderly Claimant alleges poor recommendation of an investment in FS KKR, which Claimant contends was unsuitable because the value of the investment allegedly declined following a public listing event. Activity Period:  2/20/18 – 8/10/20

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Currently financial advisor Chad Vandenbusch (Vandenbusch), currently employed by brokerage firm LPL Financial LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $220,000.00 on August 11, 2020.

Client alleges structured products and REITs sold were misrepresented as safer investments than conventional equities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felix Bartolomei (Bartolomei), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bartolomei recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,001.00 on December 29, 2020.

Client alleges unsuitability, overconcentration, failure to supervise, scienter, aiding and abetting, fraudulent concealment, violations of securities laws and rules, fraud, recklessness, negligence, breach of fiduciary duties, and violations of PR contract law (Puerto Rico bonds and closed-end funds). Includes request for punitive damages, rescission, interest, fees, costs, and disgorgement of commission and fees.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Dean (Dean), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Dean recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 05, 2021.

The customer alleged unsuitable recommendation.

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